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RIA / WealthAdvisorPersonal Financial Specialistdual registered (broker-dealer)30 years in industry

JAMES ROBERT BUITER

Advisor at CETERA INVESTMENT ADVISERS LLC

OAK FOREST, IL

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Search this name across graphsid dfx:ria:737524ec-db2f-2baf-1346-4d214d13e337

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 28, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 13, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Designations: Personal Financial Specialist
Exams: S65|S63
First exam: Sep 13, 1996
First registration: Jan 28, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 2768296

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	OAK FOREST, IL	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Aug 13, 2020	Sep 5, 2025	no	Oak Forest, IL	Previous registration
AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.	State registered	Feb 4, 2019	Sep 17, 2020	no	WHITING, IN	Previous registration
AMERICAN TRUST INVESTMENT SERVICES, INC.	n/a	May 19, 2014	Apr 1, 2019	no	SAN CLEMENTE, CA\|WHITING, IN	Previous registration
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC	Independent wealth	Apr 30, 2013	Aug 14, 2020	no	LISLE, IL	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	May 15, 2009	Apr 1, 2013	no	OAK BROOK TERRACE, IL\|LOMBARD, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Apr 17, 2009	no	ORLAND PARK, IL\|ORLAND PARK, IL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jan 28, 1998	Jul 1, 2003	no	ORLAND PARK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.	AVANTAX ADVISORY SERVICES	Sep 17, 2020	Aug 13, 2020	-35	Firm change after gap	Other
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC	AMERICAN TRUST INVESTMENT SERVICES, INC.	Aug 14, 2020	May 19, 2014	-2,279	Firm change after gap	Other
AMERICAN TRUST INVESTMENT SERVICES, INC.	AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.	Apr 1, 2019	Feb 4, 2019	-56	Firm change after gap	Other
B. RILEY WEALTH ADVISORS, INC.	CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC	Apr 1, 2013	Apr 30, 2013	29	Firm change	Other
WELLS FARGO ADVISORS	B. RILEY WEALTH ADVISORS, INC.	Apr 17, 2009	May 15, 2009	28	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (8)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Aug 13, 2020 to Sep 5, 2025factForm ADV
→ AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.Registered adviserregistration: previous registration
Feb 4, 2019 to Sep 17, 2020factForm ADV
→ CHICAGO CAPITAL MANAGEMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 30, 2013 to Aug 14, 2020factForm ADV
→ AMERICAN TRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 19, 2014 to Apr 1, 2019factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
May 15, 2009 to Apr 1, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Apr 17, 2009factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jan 28, 1998 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.